DUFF & PHELPS CORP Forms 3, 4 and 5: Stock Options
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 7 rows, 7 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2011-03-08: Reporting owner Puzzuoli Patrick Michael; Form 3; Security Non-qualified Stock Option (right to purchase); Transaction Holding.
- 2009-02-27: Reporting owner Gottdiener Noah; Form 4; Security Non-qualified Stock Option (right to purchase); Transaction Holding.
- 2007-10-03: Reporting owner SILVERMAN JACOB; Form 4; Security Non-qualified Stock Option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
- 2007-10-03: Reporting owner MARSCHKE BRETT; Form 4; Security Non-qualified Stock Option (right to purchase); Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2011-03-08 holding as of filing | Puzzuoli Patrick Michael Officer (EVP and CFO) | 3 | Non-qualified Stock Option (right to purchase) Derivative · Direct | Holding | $16.00 exercise price | 2011-03-08 | ||
| 2009-02-27 holding as of filing | Gottdiener Noah Director, Officer (Chief Executive Officer) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct · (m) | Holding | 135,000 owned after | $16.00 exercise price | 2009-02-27 | |
| 2007-10-03 | SILVERMAN JACOB Officer (Executive VP and CFO) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $16.00 exercise price | 2007-10-05 | |
| 2007-10-03 | MARSCHKE BRETT Officer (Executive VP and COO) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $16.00 exercise price | 2007-10-05 | |
| 2007-10-03 | Gottdiener Noah Officer (Chief Executive Officer) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +135,000 135,000 owned after | $16.00 exercise price | 2007-10-05 | |
| 2007-10-03 | Forman Edward Officer (Executive VP, Gen. Cnsl., Sec.) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +100,000 100,000 owned after | $16.00 exercise price | 2007-10-05 | |
| 2007-10-03 | CREAGH GERARD Director, Officer (President) | 4 | Non-qualified Stock Option (right to purchase) Derivative · Direct · (m) | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +110,000 110,000 owned after | $16.00 exercise price | 2007-10-05 |